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Japan Financial Services Agency: Partial Revision Of The "Reference Cases" Regarding The "Independent Agent Exemption" Of Fund Managers

Date 08/07/2022

The Financial Instruments and Exchange Act was amended to establish a new entry system regarding the investment management business with the updated procedures (notification) pertaining to Special Business during Transition Period.
New Zealand Financial Markets Authority Appoints Margot Gatland To Head Of Enforcement

Date 08/07/2022

The Financial Markets Authority (FMA) - Te Mana Tātai Hokohoko - has confirmed the appointment of Margot Gatland as its new Head of Enforcement. Ms Gatland was previously the Acting Head of Enforcement at the FMA.
Progress In Initiatives For Further Strengthening Coordination Between The Japan Financial Services Agency And The Bank Of Japan

Date 08/07/2022

Based on the "Initiatives for Further Strengthening Coordination between the Financial Services Agency and the Bank of Japan" released in March 2021, the FSA and the BOJ have been implementing various initiatives to strengthen coordination in order to conduct higher-quality monitoring as well as to reduce the burden on financial institutions. We have published the progress in these initiatives.
JPX Monthly Headlines - June 2022

Date 08/07/2022

JPX group companies undertake various initiatives and disseminate information with the aim of providing the most attractive markets to all users.
Every month, we showcase the highlights of these efforts in short and concise summaries just for you.
Japan Financial Services Agency: Partial Revision Of The Notice Regarding The Tax Treatment Of Carried Interest

Date 08/07/2022

The Financial Instruments and Exchange Act was amended to establish a new entry system regarding the investment management business with the updated procedures (notification) pertaining to Special Business for Foreign Investors, etc. and Special Business during Transition Period. Also, under the amendment to the Cabinet Office Ordinance on Definitions under Article 2 of the Financial Instruments and Exchange Act, a foreign investment manager who has difficulty in continuing its business in the foreign country can continue the business temporarily in Japan based on an approval by the commissioner of the FSA.

IIROC’s 2021 – 2022 Enforcement Report: Effective Regulation A Result Of Pan-Canadian Enforcement Powers And Ability To Collect Fines Through Courts

Date 07/07/2022

The Investment Industry Regulatory Organization of Canada (IIROC) released its annual Enforcement Report today, which highlights enforcement activities and IIROC’s continued efforts to protect investors and the integrity of Canada’s capital markets.
Ontario Securities Commission’s Investor Advisory Panel Releases 2021 Annual Report

Date 07/07/2022

The Investor Advisory Panel (the IAP) today released its 2021 Annual Report summarizing its activities, submissions, consultations and meetings during the calendar year.
FSB Explores Options To Promote Broader Adoption Of The Legal Entity Identifier (LEI) In Cross-Border Payments

Date 07/07/2022

The Financial Stability Board (FSB) today published a report exploring options to improve the adoption of the Legal Entity Identifier (LEI), in particular for use in cross-border payments.
NGX Remains The Preferred Listing Platform For Capital Raising

Date 07/07/2022

Capital market stakeholders have commended NGX for providing a vibrant listing platform for government and corporates to meet their business objectives. This was stated during the NGX CEO Roundtable held on Thursday, 7 July 2022.
CFTC: Federal Court Orders Texas Unregistered Commodity Pool Operator To Pay More Than $13 Million For Commodity Fraud

Date 07/07/2022

The Commodity Futures Trading Commission today announced the U.S. District Court for the Western District of Texas entered a consent order on July 6, imposing monetary sanctions against David Seibert, most recently of Lakeway, Texas.